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Michael William Mullins

Investment Adviser Representative at OAKWOOD CAPITAL, INC.

Bermuda Dunes, CACRD #1522269Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
39 yrs
States Registered
4 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Michael William Mullins has worked in the securities industry since 1987. They are registered to provide investment advisory services in Arizona, California, Minnesota, and South Carolina.

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
ArizonaCaliforniaMinnesotaSouth Carolina
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/23/2004
Series 63
Uniform Securities Agent State Law Examination
Passed 3/26/1987
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/21/1987

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Oakwood Capital, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OAKWOOD CAPITAL, INC.Current
9/27/2019Bermuda Dunes, CA
GARDNER ADVISORS INC.
9/27/201912/31/2020Minneapolis, MN
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC
6/30/20159/16/2019Golden Valley, MN
JHS CAPITAL ADVISORS, LLC
4/1/20117/30/2015Minnetonka, MN
RBC CAPITAL MARKETS, LLC
6/20/20084/7/2011Minneapolis, MN
WELLS FARGO INVESTMENTS, LLC
9/24/20046/24/2008Bloomington, MN

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael William Mullins has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Michael William Mullins - Financial Advisor in Bermuda Dunes, CA | AdvisorFinder